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Former SEC-registered adviser

T•• E••••• A•••••••• L••

Former SEC-registered adviserWashington, District of ColumbiaCRD 285849SEC 801-108621IAPD
Latest filing Feb 15, 2018
First filing on the tape Nov 1, 2016 · 6 filings
RAUM
$400M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$400M as of Feb 15, 2018
Feb 27, 2017$400M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 15, 2018
Feb 27, 20170 then
Employees (5.A)5 as of Feb 15, 2018
Feb 27, 20174 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 15, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$400MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$400M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• C••••••• J•••• · Chief Compliance Officercontrol
        since 01/2018 · owns less than 5%
      • S•••••• J•••••••• M•••• · Managing Director, Member And Managercontrol
        since 03/2015 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 4 to 5
        Jan 29, 2018 to Feb 15, 2018
      • Corporate clients · unset to 1.0
        May 25, 2017 to Dec 21, 2017
      • Assets in custody · 189522929.0 to unset
        May 25, 2017 to Dec 21, 2017
      • Custody of client assets · true to false
        May 25, 2017 to Dec 21, 2017
      • Other offices · unset to 0.0
        May 25, 2017 to Dec 21, 2017
      • Accounts · unset to 1.0
        Nov 1, 2016 to Feb 27, 2017
      • Assets in custody · unset to 189522929.0
        Nov 1, 2016 to Feb 27, 2017
      • Custody of client assets · false to true
        Nov 1, 2016 to Feb 27, 2017
      • Discretionary RAUM · unset to 400000000.0
        Nov 1, 2016 to Feb 27, 2017
      • Non-discretionary RAUM · unset to 0.0
        Nov 1, 2016 to Feb 27, 2017
      • RAUM · unset to 400000000.0
        Nov 1, 2016 to Feb 27, 2017
      Signals
      1 dated events
      • T•• E••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 1, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026